e-service Online Submission Limited BDU >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 23/01/2004 2. Notification of the Securities and Exchange
e-service Online Submission IP/FG >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 36/2546 03/11/2003 01/11/2003
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission Kor Thor. 33/2560
e-service Online Submission Derivatives Agent >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4
e-service Online Submission Derivatives Dealer >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 7/2560 16/02/2017
e-service Online Submission Derivatives Dealer >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4
e-service Online Submission Marketing >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 3/2548 17/01/2005 01/03
| - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities Allocation (Section 81) Business Operation Rules |- Net Liquid Capital Rule
e-service Online Submission Investment Advisory >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 31/01/2002 2. Ministerial regulations 5/2539